CM
Carter D. Moffitt
GWN SECURITIES
SOUTH JORDAN, UT 84095
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CRD#: 7672606
CM
Professional summary
Carter Dustin Moffitt, who also goes by Carter Dustin Moffitt, Carter Moffitt, is a registered financial advisor currently at GWN SECURITIES INC. located in South Jordan, Utah.
Carter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Carter has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carter Dustin Moffitt | Carter Moffitt
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1-- MOFFITT LLC POSITION: Owner NATURE: Tax purposes / Income. COMPENSATION TYPE: Commission. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 1/01/2025 ADDRESS: 1268 W. South Jordan Pkwy., Suite 201 South Jordan, UT 84095, United States DESCRIPTION: THIS BUSINESS IS SOLEY FOR INCOME TAX PURPOSES IN WHICH THE INCOME DISTRIBUTED THROUGH MY BROKER DEALER IS PASSED THROUGH 2-- BLACKRIDGE WEALTH MANAGEMENT POSITION: Financial Representative NATURE: DBA/Financial Services/Insurance. COMPENSATION TYPE: Commission. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 1/01/2025 ADDRESS: 1268 W. South Jordan Pkwy., Suite 201 South Jordan, UT 84095, United States DESCRIPTION: DBA; Life Insurance sales to customers; and Financial Services
CRS (Client Relationship Summary) - RIA
Click below to view Carter Dustin Moffitt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carter Dustin Moffitt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 3, 2025 - Present
GWN SECURITIES INC.
Office #1: 1268 West South Jordan Parkway Ste. 201, South Jordan, UT 84095RIA
BD
CRD#: 128929
SOUTH JORDAN, UT
Current
January 31, 2025 - Present
GWN SECURITIES INC.
Office #1: 1268 West South Jordan Parkway Ste. 201, South Jordan, UT 84095RIA
BD
CRD#: 128929
SOUTH JORDAN, UT
Past
December 19, 2023 - December 19, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
March 24, 2023 - December 19, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Utah(1/31/2025)
IAR
Utah(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/24/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2700
Established
Florida since 05/12/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
744
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| RITTMAN, BARRY RICHARD | CFO FINOP VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 64,207 |
| AUM (Assets Under Management) | $ 3,650,274,405 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
